EUROPEAN RAILWAY AGENCY
Safety Unit
Guideline for Member States on
the Notification of National Safety Rules
Reference:
Version:
Date:
Status:
Author:
ERA/NSR Version 2.2
ERA-20070731-SAF
2.2
July 2007
Final Draft
Team for National Safety Rules and Technical Opinions
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
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Document issued by:
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Released by:
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Reviewed by:
Anders Lundström
Author:
Kurt Lentz
Version:
2.2
Date:
31/07/2007
Type of document:
Draft document
Status of document:
For external consultation
Amendment records
Version
Issuer
1.0
KL
Revision of all sections of the internal version of Limited to NSA contact persons for
the guideline taking into account the comments national safety rules
from MS/NSA received 10/2006-04/2007
2.0
KL
Revision of all sections of text and taking into Draft report for distribution to NSA
accounts points raised at the A21 Committee and A21 Committee
workshop on 26 April, the meetings with the
NSA on 22 and 29 May and comments received
from NSA by 22 June, 2007
2.1
KL
Amendments to section 2.3 and section 3.1.2
2.2
KL
Addition of section 3.1.5 on protection of
personal data
ERA/NSR Version 2.2
Modified sections
Distribution
Draft report for distribution to NSA
and A21 Committee
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References
N°
Description
Reference Number
Version
/1/
Regulation (EC) 881/2004 Agency Regulation
881/2004
Corrigendum
/2/
Directive 2004/49/EC Railway Safety Directive
2004/49/EC
Corrigendum
/3/
Directive 96/48/EC on the interoperability of the 96/48/EC
trans-European high-speed rail system
Amended by
Directive
2004/50/EC
/4/
Directive 2001/16/EC on the interoperability of the 2001/16/EC
conventional rail system
Amended by
Directive
2004/50/EC
/5/
Directive 98/34/EC laying down a procedure for the 98/34/EC
provision of information in the field of technical
standards and regulations and of rules on Information
Society services.
Amended by
Directive
98/48/EC,
2006/96/EC
and the act
concerning the
accession of
ten
new
Member
States
/6/
Directive 91/440/EEC on the development of the 91/440/EEC
community’s railways
Latest
amendment by
Directive
2006/103/EC
/7/
Directive 2001/14/EC on the allocation of railway 2001/14/EC
infrastructure capacity and the levying of charges for
the use of railway infrastructure and safety
certification
Latest
amendment by
Directive
2004/49/EC
/8/
Commission Regulation (EC) No 653/2007 on the use
653/2007
of a common European format for safety certificates
and application documents in accordance with Article
10 of Directive 2004/49/EC of the European
Parliament and of the Council and on the validity of
safety certificates delivered under Directive
2001/14/EC
/9/
Directive 96/49/EC on the approximation of the laws 96/49/EC
of the Member States with regard to the transport of
dangerous goods by rail and its Annex in their valid
version
/10/
Directive 96/35/EC on the appointment and 96/35/EC
vocational qualification of safety advisers for the
transport of dangerous goods by road, rail, and inland
waterway
ERA/NSR Version 2.2
Latest
amendment by
2006/90/EC
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/11/
Directive 2000/18/EC on minimum examination 2000/18/EC
requirements for safety advisers for the transport of
dangerous goods by road, rail or inland waterway
/12/
Regulation (EC) No 45/2001 of the European 45/2001
Parliament and of the Council on the protection of
individuals with regard to the processing of personal
data by the Community institutions and bodies and on
the free movement of such data
/13/
Regulation (EC) No 1049/2001 of the European 1049/2001
Parliament and of the Council of 30 May 2001
regarding public access to European Parliament,
Council and Commission documents
/14/
Arrangements to be applied by the Agency for public
access to documents
Adopted
by
the
Administrative
Board on 28
October 2004
/15/
Recommendation on the Notification of National ERA/REC/SAF/03-2006
Safety Rules
1.0
/16/
Accompanying Report to the Recommendation to the ERA/REP/SAF/03-2006
Commission on the Technical Examination of
National Safety Rules
1.0
/17/
Note on Commonalities and Differences between 20/04/2007
National Safety Rules and National Technical Rules
1.1
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Table of Contents
1.
Context .................................................................................................................................. 9
2.
National safety rules .......................................................................................................... 10
2.1.
What is a national safety rule? .............................................................................. 10
2.2.
The Agency’s recommendations on national safety rules .................................... 11
2.3.
Classification of national safety rules ................................................................... 12
2.3.1.
2.3.2.
2.3.3.
2.3.4.
2.3.5.
2.3.6.
2.3.7.
3.
Type 1 rules ..................................................................................................... 12
Type 2 rules ..................................................................................................... 12
Type 3 rules ..................................................................................................... 13
Type 4 rules ..................................................................................................... 13
Type 5 rules ..................................................................................................... 14
Type 6 rules ..................................................................................................... 14
Type 7 rules ..................................................................................................... 15
Notification ......................................................................................................................... 16
3.1.
Notification procedures ......................................................................................... 17
3.1.1.
3.1.2.
3.1.3.
3.1.4.
3.1.5.
Notification under Article 8 (2) of the Railway Safety Directive ............ 17
Notification under Article 8 (4) of the Railway Safety Directive ............ 17
Procedure for notification of national safety rules .................................... 17
The Agency’s public database ...................................................................... 19
Protection of personal data ........................................................................... 20
3.2.
National safety rules in relation to the Technical Specifications for
Interoperability ...................................................................................................... 21
3.3.
National safety rules in relation to the Regulation concerning the
international carriage of dangerous goods by rail ................................................. 21
Annex I.
Legal base for the notification of national safety rules ......................................... 23
1.
Definition of national safety rules..................................................................................... 23
2.
Tasks of the Member States .............................................................................................. 23
3.
Tasks of the Commission ................................................................................................... 25
4.
Tasks of the Agency ........................................................................................................... 26
Annex II.
1.
The Agency’s rule declaration form ....................................................................... 27
Use of the rule declaration form ....................................................................................... 27
1.1.
For the notification of the national safety rules .................................................... 27
1.2.
Sending the declaration forms and the text of the rules to the Agency ................ 27
1.3.
A pragmatic approach using the on-line declaration form.................................... 27
1.3.1.
1.3.2.
1.4.
A pragmatic approach using the excel declaration form off-line ......................... 28
1.4.1.
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Notification of the national safety rules to the Commission .................... 27
After the notification has been accepted by the Commission .................. 28
Notification of the national safety rules to the Commission .................... 28
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1.4.2.
After the notification has been accepted by the Commission .................. 28
2.
How to obtain the rule declaration form ......................................................................... 28
3.
How to fill in the rule declaration form ........................................................................... 29
3.1.
Selection of country ............................................................................................... 30
3.2.
Areas of application of the Railway Safety Directive........................................... 30
3.3.
Area of application of national safety rule ............................................................ 32
3.4.
Classification of the type of rule ........................................................................... 33
3.4.1.
3.4.2.
3.5.
Step 1a - Indicate the type of rule ................................................................ 33
Step 1b - Selection of rule version ................................................................ 36
Required information about the rules .................................................................... 37
3.5.1.
3.5.2.
3.5.3.
3.5.4.
3.5.5.
3.6.
Step 2 - Description of the principle content of the rule ........................... 37
Step 3 - References to legal texts .................................................................. 37
Step 4 - Indicate the form of legislation ...................................................... 38
Step 5 - Indicate the language(s) of the rule ............................................... 39
Step 6 - The body or organisation responsible for the publication of the
rules ................................................................................................................... 39
Access to the rule .................................................................................................. 40
3.6.1.
3.6.2.
3.6.3.
3.6.4.
3.7.
Step 7a – Provide the identification number (ID) ..................................... 40
Step 7b - Upload the rule ............................................................................... 41
Uploading the rule after the rule declaration form has been sent to the
Agency .............................................................................................................. 42
Step 8 - Indicate the date of the publication of the rule. .......................... 43
Reporting the rule: organisation and person responsible ...................................... 45
3.7.1.
3.7.2.
Working on-line: Steps 9 and 10 .................................................................. 45
Working off-line using the Excel version of the declaration form:
Steps 9 to 17 ..................................................................................................... 46
3.8.
Step 18 - Indicate the date of rule declaration ...................................................... 46
3.9.
Final action - send the rule declaration to the Agency .......................................... 47
3.9.1.
3.9.2.
Annex III.
Working on-line .............................................................................................. 47
Working off-line using the Excel version of the declaration form .......... 48
Reference list for rules ............................................................................................. 49
1.
Type 1: Rules concerning existing national safety targets and safety methods ........... 50
2.
Type 2: Rules concerning requirements on safety management systems and safety
certification of railway undertakings ............................................................................... 51
3.
Type 3: Rules concerning requirements for the authorisation of placing in service and
maintenance of new and substantially altered rolling stock that is not yet covered by a
TSI. The notification shall include rules for exchange of rolling stock between railway
undertakings, registration systems and requirements on testing procedures .............. 52
3.1.
High speed trainset ................................................................................................ 52
3.1.1.
3.1.2.
3.2.
Conventional trainset ............................................................................................. 56
3.2.1.
3.2.2.
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New rolling stock ............................................................................................ 52
Altered rolling stock ....................................................................................... 54
New rolling stock ............................................................................................ 56
Altered rolling stock ....................................................................................... 58
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3.3.
Conventional locomotives ..................................................................................... 60
3.3.1.
3.3.2.
3.4.
Conventional freight wagons ................................................................................ 64
3.4.1.
3.4.2.
3.5.
4.
5.
6.
New rolling stock ............................................................................................ 64
Altered rolling stock ....................................................................................... 65
Conventional passenger wagons ........................................................................... 67
3.5.1.
3.5.2.
3.6.
New rolling stock ............................................................................................ 60
Altered rolling stock ....................................................................................... 62
New rolling stock ............................................................................................ 67
Altered rolling stock ....................................................................................... 68
Other ...................................................................................................................... 69
Type 4: Common operating rules of the railway network that are not yet covered by
TSIs, including rules relating to the signalling and traffic management system ......... 70
4.1.
High speed network ............................................................................................... 70
4.2.
Conventional network ........................................................................................... 71
4.3.
Other ...................................................................................................................... 71
Type 5: Rules laying down requirements on additional internal operating rules
(company rules) that must be established by infrastructure managers and railway
undertakings ....................................................................................................................... 72
5.1.
High speed network ............................................................................................... 72
5.2.
Conventional network ........................................................................................... 72
5.3.
Other ...................................................................................................................... 72
Type 6: Rules concerning requirements on staff executing safety critical tasks,
including selection criteria, medical fitness and vocational training and certification
as far as they are not yet covered by a TSI ...................................................................... 73
6.1.
Drivers ................................................................................................................... 73
6.1.1.
6.1.2.
6.1.3.
6.1.4.
6.2.
Staff accompanying trains ..................................................................................... 75
6.2.1.
6.2.2.
6.2.3.
6.2.4.
6.3.
Selection criteria ............................................................................................. 77
Vocational training ......................................................................................... 77
Certification ..................................................................................................... 77
Advisors for dangerous goods RID ....................................................................... 77
6.5.1.
6.5.2.
6.5.3.
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Selection criteria ............................................................................................. 76
Vocational training ......................................................................................... 76
Certification ..................................................................................................... 76
Shunters ................................................................................................................. 77
6.4.1.
6.4.2.
6.4.3.
6.5.
Selection criteria ............................................................................................. 75
Medical fitness ................................................................................................. 75
Vocational training ......................................................................................... 75
Certification ..................................................................................................... 76
Staff preparing trains ............................................................................................. 76
6.3.1.
6.3.2.
6.3.3.
6.4.
Selection criteria ............................................................................................. 73
Medical fitness ................................................................................................. 74
Vocational training ......................................................................................... 74
Certification ..................................................................................................... 74
Selection criteria ............................................................................................. 77
Vocational training ......................................................................................... 77
Certification ..................................................................................................... 78
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6.6.
Maintenance staff .................................................................................................. 78
6.6.1.
6.6.2.
6.6.3.
6.7.
Staff moving in track areas .................................................................................... 79
6.7.1.
6.7.2.
6.8.
7.
Selection criteria ............................................................................................. 78
Vocational training ......................................................................................... 78
Certification ..................................................................................................... 78
Selection criteria ............................................................................................. 79
Vocational training ......................................................................................... 79
Other ...................................................................................................................... 79
Type 7: Rules concerning the investigation of accidents and incidents ........................ 79
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1.
Context
The Directive 2004/49/EC (the Railway Safety Directive) requires Member States to notify their national
safety rules to the Commission. The objective of the notification is to improve the level of transparency of
the national railway legislation in the Member States. This guideline aims to clarify which rules are national
safety rules and shall be notified, to describe the procedure for notification and to provide instructions on
how to use the rule declaration form. This document seeks to provide a common and clear basis for the
clarifications or renewals of the existing notifications, as well as for future notifications of new rules and
amendments to existing rules.
The Agency examined the notifications submitted by the Member States according to Article 8(2) of the
Railway Safety Directive at the request of the Commission in the autumn of 2006. Based on this
examination, the Agency prepared the documents: “Recommendation on the Notification of National Safety
Rules” and the “Accompanying Report to the Recommendation to the Commission on The Technical
Examination of National Safety Rules”.
The results of this examination demonstrated that the Member States had notified the national safety rules in
many different ways. Although the report which describes the methodology of the evaluation, as well as the
findings, conclusions and recommendations will to some extent help the Member States to notify the rules in
a common and correct way, the Agency considered that a guideline would be useful for the Member States
and the national safety authorities for the notification of national safety rules and other tasks involving
national safety rules.
In agreement with the Commission, the Agency has prepared this guideline as a support tool for the
authorities in the Member States, which are responsible for national safety rules and the notification of these
rules to the Commission according to Article 8 of the Railway Safety Directive. The guideline is based on
the Agency’s technical examination report and recommendations referred to above, and on the points raised
at the meetings of the Article 21 Committee and by the national safety authorities.
One issue of concern was the difference or overlap between national safety rules according to the Railway
Safety Directive and the national technical rules according to Directives 96/48/EC and 2001/16/EC for
interoperability. The Agency has prepared the “Note on Commonalities and Differences between National
Safety Rules and National Technical Rules”; therefore this guideline does not cover this issue, but only
makes reference to the note.
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2.
National safety rules
The Railway Safety Directive, and in particular Article 8, provides the legal basis for national safety rules
and the requirements for Member States to notify their national safety rules. Article 8(2) obliges the Member
States to notify all the relevant national safety rules in force to the Commission before 30 April 2005.
National safety rules adopted after this date shall be notified according to Article 8(4). National safety rules
are defined in Article 3(h), and the seven types of rules are described in Annex II of the Railway Safety
Directive. A more detailed analysis of the legal basis is given in Annex I of this guideline.
2.1.
What is a national safety rule?
When a Member State prepares the notification of a national safety rule, the first check is whether the rule
fulfils the requirements for a national safety rule, in accordance with the definition of a national safety rule in
Article 3(h) of the Railway Safety Directive. This definition and the description of the rules in Annex II of
the Railway Safety Directive contain the following four requirements for a rule to be considered as a national
safety rule:
The rule shall contain railway safety requirements.
The Railway Safety Directive gives no exact definition of a railway safety requirement, but it could be
understood as a requirement that is prescribed specifically for the railway system to operate in a safe way.
Sometimes it is difficult to distinguish between different types of safety requirements such as requirements
for occupational safety or environmental safety. If an occupational safety rule is generally applicable to all
working places in the Member State, it shall not be notified as a national safety rule according to the Railway
Safety Directive.
The rule shall be imposed at Member State level.
This means that the rule should be described in the national legislation as an act, decree, order, or some other
form of legislation to be adhered to by railway undertakings, when operating on the total or on a specific part
of the railway network, within the scope specified by the Member State.
Taking the wording “…irrespective of the body issuing them” in Article 3(h) together with Article 8(1) of
the Railway Safety Directive requiring that “…Member States shall establish binding national safety rules
and shall ensure that they are published and made available to…”, it can be seen that it is not necessarily the
representatives of the Member State (e.g. the national Parliament, the Ministry or the Safety Authority)
themselves that shall develop, adopt, publish and make the national safety rules available. The Member
States may ensure the publication and availability of the rules for all infrastructure managers, railway
undertakings, applicants for a safety certificate and applicants for a safety authorisation by entrusting this
responsibility to a specific body in the national legislation, and by requiring relevant stakeholders to adhere
to the published national safety rules.
Direct rules
For those requirements described directly in the legislation, the Member State shall specify the form of
legislation (e.g. law, act, decree, order) and the references to the legal texts, i.e. articles and/or paragraphs
in the specific laws. In some cases, the rule is the complete law.
Indirect rules
For those requirements described indirectly in the legislation, the Member State must specify the form of
legislation (e.g. law, act, decree, order) and the references to the legal text, i.e. articles or paragraphs in
the specific laws, that contains the requirement that the rule(s) should be published by a third party. The
difference between the direct and indirect rules emerges from the legal requirement whether it is the
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safety rule itself in case of direct rules or it enables a third party to publish a rule that shall be applied in
case of indirect rules.
To summarise: national safety rules should be described either directly in the national legislation or
indirectly by requiring in the legislation that rules published by a third party should be applied. If the rule has
no legal basis, the rule is not binding and therefore, it cannot be considered as a national safety rule.
The rule shall be applicable to more than one railway undertaking, irrespective of the body
issuing them.
This means that only those rules containing railway safety requirements that are applicable to railway
undertakings or that are applicable to railway undertakings, infrastructure managers and other stakeholders –
these are rules concerning the interactions and interfaces, etc. – are considered to be national safety rules.
Rules containing railway safety requirements that are only applicable to infrastructure managers, such as
requirements for the construction or maintenance of the infrastructure, are not national safety rules.
Further, the rule shall be applicable to more than one railway undertaking, irrespective of the body issuing it.
This means that if a railway undertaking is responsible for issuing the rule, the rule shall be applicable to, at
least, two railway undertakings.
The rule is one of the seven types of rule in Annex II.
If the rule fulfils the requirements in the definition of a national safety rules, then it should be checked
whether the rule is within the scope of the types of rules described in Annex II of the Railway Safety
Directive. The different types of rules are described in more detail in section 2.3. In addition, the Agency has
prepared a rules reference list for each type of rule listed in Annex II of the Railway Safety Directive to
illustrate as far as possible all the requirements, which may be national safety rules in the different Member
States. The rules reference list is in Annex III of this guideline. The list also contains references to the
Technical Specifications for Interoperability (TSIs) in force (or that will come into force in the near future)
in order to give information on those rules which could be excluded from the notification. (Further
explanations on the links to TSIs are given in section 3.2.) References to the requirements in the Railway
Safety Directive are given for some rules. The reference list can also be used as an aid for the classification
of rules.
2.2.
The Agency’s recommendations on national safety rules
In accordance with the Railway Safety Directive and in the light of the findings of the evaluation of the
notifications by the Member States according to Article 8(2), the Agency has recommended the Commission
in the “Recommendation on the Notification of National Safety Rules” to advise the Member States that:
1.
They should not notify voluntary International, European or National standards as national safety
rules according to Article 8(2) or 8(4) of the Directive 2004/49/EC, when they are not obligatory
according to the national legislation.
2.
They should not notify rules containing railway safety requirements only applicable to
infrastructure managers, as they are not national safety rules according to the definition in Article
3(h) of the Directive 2004/49/EC.
3.
They should notify the internal operating rules set out by the infrastructure managers that are
applicable to the railway undertakings, as well as the rules that contain the requirements that
railway undertakings and infrastructure managers must establish additional internal operating rules
(company rules) as described in Annex II, item 5 of the Directive 2004/49/EC.
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2.3.
Classification of national safety rules
When classifying the rules a careful analysis of the content should be made. For example, rules on
emergency evacuation may contain several types of requirements: operational requirements (types 4 and 5),
requirements for rolling stock (type 3), skills of railway personnel (type 6) and even accident reporting
procedures (type 7). It is important to distinguish clearly various types of requirements contained in one
document by providing references to the legal text as explained in section 3.5.2 of Annex II of this guideline.
2.3.1.
Type 1 rules
“Rules concerning existing national safety targets and safety methods”
These rules describe the national safety targets and safety methods for the general railway system; or for
parts of the railway system - high speed rail system, conventional rail system, long railway tunnels or lines
solely used for freight transport. Although the safety requirements for different subsystems (e.g.
requirements for operating rules for rolling stock or for staff with safety related tasks) to some extent
describe the safety targets and the safety methods for the subsystems, they are not within the scope of this
type of rule. These safety requirements shall be notified under the type 3 to 6 rules according to Annex II of
the Railway Safety Directive. (These rules are described in sections 2.3.3. to 2.3.6.)
When the common safety methods (CSMs) and common safety targets (CSTs) come into force (respectively
2008, 2009), the national safety methods and targets must be in line with these decisions.
2.3.2.
Type 2 rules
“Rules concerning requirements on safety management systems and safety certification of railway
undertakings”
The type of rules to be notified here are the requirements for the safety management system and the
requirements for railway undertakings to obtain a safety certificate. (The requirements for safety
management systems or safety authorisation requirements for infrastructure managers are not included under
this type of rule.)
The detailed national requirements for rolling stock, staff with safety-related tasks or rules for operation that
form part of the detailed national safety requirements for part B safety certificate should not be notified
under this type of rule but under the rule types 3 to 6 according to Annex II of the Railway Safety Directive.
(These rules are described in sections 2.3.3 to 2.3.6.)
After the Member States have implemented the Railway Safety Directive (by 30 April 2006), the national
requirements for safety management systems and safety certification of railway undertakings shall be in line
with the requirements stated in this directive, in particular Articles 9, 10, 12, and Annexes III and IV, as well
as in the Commission Regulation 653/2007 adopted on 15 June 2007.
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2.3.3.
Type 3 rules
“Rules concerning requirements for the authorisation of placing in service and maintenance of new
and substantially altered rolling stock that is not yet covered by a TSI. The notification shall include
rules for exchange of rolling stock between railway undertakings, registration systems and
requirements on testing procedures.”
The rules to be notified here are the requirements for testing, authorisation, registration and maintenance of
new or altered rolling stock, including the rules for the exchange of rolling stock between railway
undertakings.
The area of application of the rules must clearly be described, i.e. the requirements apply to high speed train
set, conventional train set, conventional locomotives, conventional freight wagons, conventional passenger
wagons, and other types such as local train sets, trams, historical rolling stock, etc.
It should be noted that in the TSIs in force, there are safety requirements that fall within the scope of national
safety rules (see section 3.2.). Currently, there are a number of TSIs in force for high speed trains (HS) and
for the conventional rail system (CR). Some of these, e.g. the HS TSI for control-command and signalling
subsystem and the HS TSI for energy describe requirements for rolling stock, e.g. on-board automatic train
control (ATC), radio and energy systems. Obviously these requirements should not be notified, as they are
already covered by the respective TSIs. However, the Member States must notify the national safety
requirements for “open points” and similar cases (see section 3.2.).
The Member States must notify the rules for wagons for transporting dangerous goods, which are regulated
in EU-legislation. The Annex II of the Railway Safety Directive only states that the Member State shall not
notify this type of rule when it is covered by TSIs in force. More details on the Regulation concerning the
international carriage of dangerous goods by rail (RID) are given in section 3.3.
2.3.4.
Type 4 rules
“Common operating rules of the railway network that are not yet covered by TSIs, including rules
relating to the signalling and traffic management system”
Type 4 rules are the common safety operating requirements that all railway undertakings and their staff must
respect. These are requirements for the common rule books, route books, emergency procedures, common
rules on the observance of signalling and ATC-systems, operating radio systems, etc., common
communication and collaboration requirements between the railway undertakings’ drivers and the
infrastructure managers’ traffic control centres and common requirements for exceptional transports (when
normal gauge- or load requirements are exceeded).
It is important to distinguish between this type of rule and type 5 rules (see section 2.3.5).
Type 4 rules cover the common safety operating requirements, which shall be respected by all railway
undertakings, whereas the type 5 rules cover the requirements for the railway undertakings and infrastructure
managers to set up additional internal operating rules (company rules). The Agency has recommended (see
section 2.2) that those rules established by infrastructure managers and applicable to the railway
undertakings should also be included in the notification; In most cases these rules will be type 4 rules.
These additional internal operating rules include, for example, additional internal rule books, route books,
emergency procedures, operating requirements for dedicated lines or specific signals, specific requirements
for collaboration and communication between the railway undertakings’ drivers and the infrastructure
managers’ traffic control centres or specific requirements for exceptional transports on dedicated lines that
the railway undertakings shall respect when operating on the infrastructure manager’s lines.
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For safety requirements for transporting dangerous goods by rail, see section 3.3. If national requirements on
working time for staff with operational tasks are related to railway safety, they shall be notified. However, if
the safety requirements for working time are occupational health protection measures, they should not be
notified. Similarly, other occupational health and safety regulations for the general protection of workers
shall not be notified; these are within the scope of other directives.
The national requirements to construct or maintain signalling, interlocking, ATC- or radio systems or other
requirements, which are normally only of interest to the infrastructure managers, shall not be notified. But if
there are requirements for rolling stock that are related to the relevant infrastructure, e.g. the rolling stocks
shall be equipped with a specific ATC or radio system, they shall be notified as type 3 rules.
Requirements for slot allocation, fees or other commercial operating requirements shall not be notified,
because they are not safety requirements.
Currently, the HS TSI and the CR TSI for operation and traffic management subsystem only contain general
requirements. Therefore, national safety rules amended or adopted in order to implement these requirements
should be notified. When the revised HS TSI for operation and traffic management subsystem is introduced,
it will contain the harmonised operating rules for ERTMS. In section 3.2., the relation between the national
safety rules and the TSIs is discussed.
2.3.5.
Type 5 rules
“Rules laying down requirements on additional internal operating rules (company rules) that must
be established by infrastructure managers and railway undertakings”
Type 5 rules shall include the requirements for railway undertakings and infrastructure managers to establish
additional internal rules. In most cases the internal operating rules established by infrastructure manages that
are applicable to railway undertakings will be type 4 rules. These rules are described in section 2.3.4.
Note: The internal rules established by infrastructure managers that are only applicable to its own
organisation, operations and staff are not national safety rules as defined in Article 3(h) and are not within
the scope of Annex II of the Railway Safety Directive.
2.3.6.
Type 6 rules
“Rules concerning requirements on staff executing safety critical tasks, including selection criteria,
medical fitness and vocational training and certification as far as they are not yet covered by a
TSI”
These notified rules shall describe the safety requirements for staff executing safety critical tasks. It is not
explicitly stated in Annex II of the Railway Safety Directive that this type of rule only applies to staff
employed by the railway undertakings. However, according to the definitions for national safety rules in
Article 3(h), the requirements shall only be applicable to the railway undertakings. Therefore requirements
for staff who execute tasks exclusively for infrastructure managers (e.g. staff for track or signalling
maintenance, train dispatcher, etc.) shall not be notified.
Safety critical tasks may be carried out by drivers, shunters, train staff, RID-safety advisors, staff for
maintenance of the rolling stock, staff moving in the track areas, etc. in the course of their work in the
different parts of the railway systems - high speed, conventional, local traffic, trams, historical railways - that
are within the scope of the directive.
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The Member State shall notify the rules which describe the requirements for staff selection, health checks,
training, examinations and certification as type 6 rules. Rules such as those that the driver must adhere to for
operating a train (e.g. the rule book) shall be notified as type 4 or type 5 rules.
The Member States shall not notify rules on the requirements that are covered by the TSIs in force. (More
details are given in section 3.2.) The type 6 rules concerning dangerous goods are discussed in section 3.3 on
RID.
2.3.7.
Type 7 rules
“Rules concerning the investigation of accidents and incidents”
These rules describe who is responsible for the investigation, which events are subject to investigation and
how the investigations of accidents and incidents in the railway system shall be carried out and reported in
the Member State.
After 30 April 2006, these rules must respect the requirements for the investigation of accidents and
incidents as stated in the Railway Safety Directive.
The type 7 rules concerning the transport of dangerous goods by rail are discussed in section 3.3.
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3.
Notification
Establishing a common European railway area desires that safety rules are based on common standards. Thus
national rules will gradually be replaced by these common rules and the introduction of new national safety
rules which are not based on these common requirements should be minimised. The Commission monitors
the introduction of new safety rules to keep this to a minimum level in line with the gradual establishment of
common safety requirements. However, there can be various reasons why Member States intend to set up
safety rules on their territory, for example due to the implementation of the 2004/49/EC Directive (for
example Articles 4 and 8) or specific safety arrangements on their network.
If a Member State decides to establish a new national safety rule or amend an existing rule, the
following should be taken into consideration:
Article 8(6) of the Railway Safety Directive requires that the Member States shall consult all interested
parties in due time and in accordance with Article 8(7) submit the draft rule to the Commission, if:
 the Member State intends to introduce a new national safety rule that requires a higher safety level
than the CST.
This requirement will be applicable when the first set of CST is adopted in 2009. Until then, it is
not possible to provide detailed guidance on this requirement;
 the Member State intends to introduce a new national safety rule which may affect operations of
railway undertakings from other Member States on the territory of the Member State concerned.
This requirement is applicable from the date for the implementation of the Railway Safety
Directive (30 April 2006). With reference to Article 8(7), the term “affect operation” may be
understood as applying to rules that constitute a means of arbitrary discrimination or a (disguised)
restriction on the rail transport operation between Member States.
The requirement for the Member State to send rules in draft to the Commission according to Article 8(6)
and (7) is a “self-declaration” by the Member State, if it intends to introduce a rule that will have the
consequences described Article 8(6). However, if the Member State is of the opinion that the rule does
not require a higher safety level than the CSTs or does not affect operations of railway undertakings from
other Member States, then the Member State does not need to send the rule in draft to the Commission
according to Article 8(7) of the Railway Safety Directive. In this case, the adopted rule shall be notified
according to Article 8(4) of the Directive, unless the rule is wholly relating to the implementation of the
TSIs.
The draft rule may be within the scope of Directive 98/34/EC that also requires the notification of draft
rules. Article 8 of Directive 98/34/EC describes the requirements for the Member States to communicate
technical standards and regulations in draft to the Commission before they are adopted into the national
legislation. The Agency has no competence in relation to Directive 98/34/EC, therefore it is proposed that
the Commission should consider if there is a need for the communication of (draft) national safety rules
according to this directive.
When a Member State adopts a new national safety rule or an amendment to a national safety rule that had
been notified to the Commission, the following should be taken into account:
If the rule falls within the definition of national safety rules provided in Article 3 (h) and Annex II of the
Railway Safety Directive and it is not wholly relating to the implementation of TSIs, the rule shall be
notified according to the Article 8(4). (See sections 3.1.2 and 3.2.)
If the rule also regulates a technical field that is not covered by a TSI or constitutes a derogation from a
TSI, it may be necessary to notify the rule according to Articles 16 (3) or 17 of the relevant
interoperability directive as well.
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3.1.
Notification procedures
3.1.1.
Notification under Article 8 (2) of the Railway Safety Directive
According to Article 8(2) of the Railway Safety Directive, the Member States shall notify all the relevant
national safety rules in force to the Commission before 30 April 2005. The notification of the rules should
indicate their area of application, including the classification of the rules according to Annex II of the
Railway Safety Directive, and provide information on the principal content of the rules with references to the
legal texts, on the form of legislation, and on the body or organization that is responsible for the publication
of the rule.
3.1.2.
Notification under Article 8 (4) of the Railway Safety Directive
After 30 April 2005, the Member States shall notify the Commission about amendments to the (previously)
notified national safety rules and new national safety rules, unless the rule is wholly relating to the
implementation of TSIs, as required by Article 8 (4) of the Railway Safety Directive. The information
requirements for this notification are the same as under Article 8 (2) and in addition the notification should
clearly indicate the status of the rule(s): new or an amendment to a rules that has already been notified.
The description of the principle content should clearly show that the rule is not wholly relating to the TSIs.
3.1.3.
Procedure for notification of national safety rules
To harmonise the way in which the national safety rules are notified, the Agency has prepared the rule
declaration form. It is available in electronic form on the Agency’s Public Database (PDB). A paper version
of the declaration form for each national safety rule may be used for the notification of all national safety
rules.
The Agency will provide advice on the preparation of notifications of the national safety rules to the Member
States, if requested.
The notification is sent by the Member State through its Permanent Representation to the European Union.
The formal procedure for the notification of national safety rules is individually regulated by each Member
State.
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When the Commission has accepted the notification, the Agency will register the notified national safety
rules in the PDB of safety documents; the national safety authority of the respective Member State will be
requested to send the rule declaration form and the relevant national rules, if possible in electronic form, to
the Agency –if these have not previously been sent at the time of notification. A step by step guide to the use
of the rule declaration form for the notification of national safety rules is given in Annex II.
In the “Recommendation on the Notification of National Safety Rules”, the Agency recommended to the
Commission to advise the Member States that:
1. They should notify the national safety rules in a common format to the Commission; the electronic
declaration form prepared by the Agency should be used. The text of the individual rules should not
be included in paper form in the notification.
2. The national safety authorities should send the electronic version of the notification that has been
accepted by the Commission, including the text of the individual national safety rules to the Agency.
Overview of the notification procedure
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3.1.4.
The Agency’s public database
According to Article 11 (1d) of the Agency Regulation, the Agency is responsible for keeping a public
database of national safety rules that are notified to the Commission in accordance with Article 8 of the
Railway Safety Directive. The Regulation 1049/2001 and the ”Arrangements to be applied by the Agency for
public access to documents” (Agency’s Access Rules) shall also be applied to the documents that are
registered to the PDB.
As provided in Article 7 (4) of the Agency’s Access Rules, “[T]he register shall contain the title of the
document (if available, and in the languages in which it is available), its serial number, a brief description of
the contents, indication of the author (Agency or third party), the date of its receipt, creation or adoption and
the date of entry in the register.”. The Agency has taken both these information requirements and that
information required by Article 8 of the Railway Safety Directive into account in the design of the rule
declaration form.
Article 7 (1) and (2) of the Agency’s Access Rules require the Agency to provide access to all the national
safety rules that are registered to the PDB. Moreover, Article 8 of the same document states that these rules
shall be made directly accessible by electronic means. However, Regulation 1049/2001 and the Agency’s
Access Rules provide for exceptions to public access to documents. In particular, Article 4 (1) and (2) of the
Regulation 1049/2001 require that:
“[T]he institutions shall refuse access to a document where disclosure would undermine the protection of:
(a) the public interest as regards:
- public security,
- defence and military matters,
- international relations,
- the financial, monetary or economic policy of the Community or a Member State;
(b) privacy and the integrity of the individual, in particular in accordance with Community
legislation regarding the protection of personal data.
2. The institutions shall refuse access to a document where disclosure would undermine the protection of:
- commercial interests of a natural or legal person, including intellectual property,
- court proceedings and legal advice,
- the purpose of inspections, investigations and audits,
unless there is an overriding public interest in disclosure.”
Moreover, Article 5 (5) of the Agency’s Access Rules provides that “... if an application for access concerns
a document originating from a Member State, the Agency shall consult the originating authority”.
With regard to these specific requirements, the Agency would like to draw the Member States’ attention to
the fact that all national safety rules registered to the PDB will be accessible by the public, unless a Member
State decides otherwise on the grounds listed above. The Member State shall clearly express its reservation
on public access in the notification of the relevant national safety rules, before the rule is registered to the
PDB.
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3.1.5.
Protection of personal data
The Agency as a Community body respects the protection of data on individual persons and applies
Regulation 45/2001/EC when processing this data. According to Article 2 a) of Regulation 45/2001/EC
“’personal data’ shall mean any information relating to an identified or identifiable natural person (data
subject)”. Consequently, the name and contact details of the reporting person in the rule declaration form
shall be considered as personal data.
The Agency requires this information in order to contact the reporting person if it is necessary to clarify
some part of the rule declaration form, so that the rules are correctly registered in the PDB as required by
Article 11 d) of the Agency Regulation. Article 5 a) of the Regulation 45/2001/EC provides the grounds to
justify processing such data:
“Personal data may be processed only if:
a) processing is necessary for the performance of a task carried out in the public interest on the basis of the
Treaties establishing the European Communities or other legal instruments adopted on the basis thereof or
in the legitimate exercise of official authority vested in the Community institution or body or in a third party
to whom the data are disclosed,”.
The name and contact details will only be used by the Agency to carry out its tasks and this information is
only accessible to the Agency. It will not be made available to third parties or users of the PDB.
The Regulation 45/2001/EC sets out detailed rules on the data subject’s rights including rectification,
blocking, or erasure of data and on objections to the data processing. It also provides for the data subject to
lodge a complaint to the European Data Protection Supervisor.
A privacy statement will be published on the Agency’s PDB to draw the reporting person’s attention to the
Community’s policy on the protection of data on individual persons. The statements is as follows:
“This data will be processed in accordance with the requirements of Regulation (EC) 45/2001 on
the protection of individuals with regard to the processing of personal data by Community
institutions and bodies and on the free movement of such data.
Processing of this data is necessary to ensure the compliance with Article 11 d) of the Regulation
establishing a European Railway Agency. The Agency only keeps this data for the time necessary to
fulfil the purpose of collecting and processing, according to this article.
You may, upon request, obtain the details of your personal data and rectify any inaccurate or
incomplete personal data. Should you have any queries concerning the processing of your personal
data, please address them to the ERA data controller, the Head of Safety unit, and/or the ERA Data
protection officer ([email protected]). As regards the processing of your
personal data, you have a right to recourse at any time to the European Data Protection
Supervisor.”
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3.2.
National safety rules in relation to the Technical Specifications for
Interoperability
Article 8(4) of the Railway Safety Directive requires that “[M]ember States shall forthwith notify the
Commission of any amendment to the notified national safety rules and any new such rule that might be
adopted, unless the rule is wholly relating to the implementation of TSIs”. It is further specified in Annex II
of the Railway Safety Directive that types 3, 4 and 6 of national safety rules need to be notified as far as they
are not yet covered by TSIs.
National safety rules shall be examined and, if necessary, revised when TSIs or any other new common EC
requirements are adopted.
When notified type 3, 4 or 6 rules are amended or revoked in line with new or revised TSIs, these
amendments shall be notified irrespective of whether the new rule is wholly or partly related to TSI
implementation. This is necessary to ensure that the status of the rules registered in the public database of the
Agency is correct. In the interest of clarity, the principal content of amendments to rules should specify their
relation to TSIs.
When new type 3, 4 or 6 rules are adopted to implement a TSI, they cannot be considered as wholly
implementing the TSI if, e.g.:
the rules are based on open and reserved points in a TSI;
they concern specific cases, agreements or other transitional provisions foreseen in a TSI;
they are adopted in line with derogation from a TSI.
Therefore in these cases, rules shall be notified according to Article 8 of the Railway Safety Directive.
Some examples of the different types of rules are given in section 2.3. More information is provided in the
“Note on commonalities and differences between national safety rules and national technical rules” and in
the rules reference list in Annex III of this guideline. These documents give indications of the safety
requirements that are covered by TSIs. Chapter 3 of each TSI describes the respective safety essential
requirements.
The notification, in accordance with Article 8 of the Railway Safety Directive, of national safety rules that
are related to TSIs should be made concurrently with the notification of these rules as national technical rules
in accordance with the relevant TSI and Articles 16 (3) and 17 of the Interoperability Directives.
3.3.
National safety rules in relation to the Regulation concerning the
international carriage of dangerous goods by rail
The Annex of Directive 96/49/EC is the Regulation concerning the international carriage of dangerous goods
by rail (RID) and describes some rules for constructing freight wagons for transportation of some classes of
dangerous goods (type 3 rules in Annex II of the Railway Safety Directive), some rules for operating trains
containing dangerous goods (type 4 rules), some requirements for the staff taking part in the transportation
process (type 6 rules) and some rules for accident investigation (type 7). National requirements for these
types of rules should be notified as national safety rules according to Article 8 of the Railway Safety
Directive.
When the RID is revised every second year, the Member States shall implement the revised annex into
national law. The Member States must ensure that this annex is published as a new RID version, and it is
proposed that, in the interest of transparency, the Member States notify the national implementation of RID
as national safety rules. Unless the national RID is covered by copyright, it is necessary to include the text in
the notification.
Directive 96/49/EC permits derogations, restrictions and exemptions from the requirements described in its
Annex RID.
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When RID is implemented in the Member State without any exception, derogation or restriction, it shall be
notified as a type 3 rule. However, if there are any exceptions, derogations or restrictions to the RID
requirements, these shall be notified according to the type of rule to which they belong. There will be an
explanation of this classification procedure in the PDB.
The national implementation of the Directive 96/35/EC describes, among other things, the requirements for a
safety adviser for transport of dangerous goods on land including railways in the Member State. It is
proposed that the rules implementing these requirements are notified as type 6 safety rules.
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Annex I.
Legal base for the notification of national safety rules
According to Article 8(2) of the Railway Safety Directive, the Member States shall notify to the Commission
all the relevant national safety rules imposed at Member State level, before 30 April 2005. If, after this date,
the Member State introduces any new national safety rule or amendments to the existing rules, these shall
also be notified to the Commission according to Article 8(4) of the same directive unless the rule is wholly
relating to the implementation of TSIs in force.
1.
Definition of national safety rules
Article 3(h) of the Railway Safety Directive gives the following definition of national safety rules: “all rules
containing railway safety requirements imposed at Member State level and applicable to more than one
railway undertaking, irrespective of the body issuing them”.
This definition is specified in Annex II of the Railway Safety Directive that describes the types of national
safety rules to be notified to the Commission according to Article 8 of the Railway Safety Directive:
Rules concerning existing national safety targets and safety methods (type 1 rules)
Rules concerning requirements on safety management systems and safety certification of railway
undertakings (type 2 rules)
Rules concerning requirements for the authorization of placing in service and maintenance of new and
substantially altered rolling stock that is not yet covered by a TSI. The notification shall include rules for
exchange of rolling stock between railway undertakings, registration systems and requirements on testing
procedures (type 3 rules)
Common operating rules of the railway network that are not yet covered by TSIs, including rules relating
to the signaling and traffic management system (type 4 rules)
Rules laying down requirements on additional internal operating rules (company rules) that must be
established by infrastructure managers and railway undertakings (type 5 rules)
Rules concerning requirements on staff executing safety critical tasks, including selection criteria,
medical fitness and vocational training and certification as far as they are not yet covered by a TSI (type 6
rules)
Rules concerning the investigation of accidents and incidents (type 7 rules).
It is important to note that if there are no existing national rules for a specific type as described above, no
notification is necessary for that type of rules. Only national rules currently in force need to be notified.
2.
Tasks of the Member States
Article 4 of the Railway Safety Directive obliges Member States to ensure that “…safety rules are laid
down, applied and enforced in an open and non-discriminatory manner, fostering the development of a
single European rail transport system”.
Article 8(1) of the Railway Safety Directive prescribes that “[I]n application of this Directive, Member
States shall establish binding national safety rules and shall ensure that they are published and made
available to all infrastructure managers, railway undertakings, applicants for a safety certificate and
applicants for a safety authorisation in clear language that can be understood by the parties concerned.”.
This should be achieved by the deadline for the implementation of the Railway Safety Directive of
30 April 2006.
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Notification of existing national safety rules according to Article 8(2) of Directive 2004/49/EC and of new
rules or amendments adopted after 30 April 2005 according to Article 8 (4) of the same directive are also
important tasks of the Member States the process of which is described in more details in section 3.1. The
clarification or renewal of the notifications does not require the Member States to change their present legal
system since its aim is to have a clear picture of the present situation on the national safety rules thus to
increase the level of transparency of national railway legislation. However, if company rules regulate this
field, it is necessary to establish them as national safety rules and then notify them.
The Railway Safety Directive does not specifically state that the text of the individual rules should be
notified or that they should be supplied to the Agency. However, this requirement arises from the Agency’s
task to register the national safety rules notified to the Commission in its public database, as required by
Article 11 of the Agency Regulation. Therefore, Member States and/or national safety authorities are
required to send to the Agency the whole text of the national safety rule after the notification was validated.
The Agency’s public database is a key instrument to achieve the transparency of all the national safety rules.
Member States must ensure that the railway undertakings and the infrastructure managers apply the national
safety rules while carrying out their responsibilities and in cooperation with each other, as stated in Article
4(3) of the Railway Safety Directive. A significant role in this process has been delegated to the national
safety authorities. In line with Article 16(2) of the Railway Safety Directive, they have been assigned tasks
such as the safety certification of railway undertakings and the authorisation for placing in service of rolling
stock.
Further development of the national railway safety legislation should be pursued by the Member States, in
line with Article 4(1) of the Railway Safety Directive, to “…ensure that railway safety is generally
maintained and, where reasonably practicable, continuously improved, taking into consideration the
development of Community legislation and technical and scientific progress and giving priority to the
prevention of serious accidents”.
Article 16(2) (f) of the Railway Safety Directive requires the Member States to entrust the national safety
authorities with the tasks of “monitoring, promoting, and, where appropriate, enforcing and developing the
safety regulatory framework including the system of national safety rules” with regard to the principles
described in Article 17.
According to Article 8(6) and (7) of the Railway Safety Directive, “[I]f, after the adoption of CSTs -common
safety targets-, a Member State intends to introduce a new national safety rule which requires a higher
safety level than the CSTs, or if a Member State intends to introduce a new national safety rule which may
affect operations of railway undertakings from other Member States on the territory of the Member State
concerned, the Member State shall consult all interested parties in due time” and “shall submit the draft
safety rule to the Commission for examination, stating the reasons for introducing it”. The latter condition
re-enforces the principle of non-discrimination that is also expressed in Article 75 of the Treaty establishing
the European Community as a part of the common transport policy: “In the case of transport within the
Community, discrimination which takes the form of carriers charging different rates and imposing different
conditions for the carriage of the same goods over the same transport links on grounds of the country of
origin or of destination of the goods in question shall be abolished.”. Moreover, in the specific field of
railway safety, Article 4 of the Railway Safety Directives also puts the emphasis on the prohibition of
discrimination as an obligation for the Member States while developing their railway legislation.
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To correspond to this requirement, recital (10) of the Railway Safety Directive underlines that:
“National safety rules, which are often based on national technical standards, should gradually be replaced
by rules based on common standards, established by TSIs. The introduction of new specific national rules
which are not based on such common standards should be kept to a minimum. New national rules should be
in line with Community legislation and facilitate migration towards a common approach to railway safety.
All interested parties should therefore be consulted before a Member State adopts a national safety rule that
requires a higher safety level than the CSTs. In such cases the new draft rule should be subject to
examination by the Commission, which should adopt a Decision if it appears that the draft rule is not in
conformity with Community legislation or constitutes a means of arbitrary discrimination or a disguised
restriction on rail transport operation between Member States.”.
Moreover, concerning the present situation, recital (11) of the Railway Safety Directive gives the following
guidance: “The current situation, in which national safety rules continue to play a role, should be regarded
as a transitional stage, leading ultimately to a situation in which European rules will apply”.
3.
Tasks of the Commission
The Commission is responsible for checking that the notifications of the national safety rules are in
accordance with Article 8(1), (2) and (4) of the Railway Safety Directive, and with other EC legislation in
force (e.g. technical specifications for interoperability (TSIs), and common safety methods (CSMs) and
common safety targets (CSTs) once they come into force). When necessary, the Commission communicates
with the Member State, and may request them to renew or clarify notifications. When the Commission
examines the notification of existing rules, it may request the Agency for technical support in accordance
with Articles 6 and 30(2)(b) of the Agency Regulation.
In order to keep the introduction of new, specific, national safety rules to a minimum and so to prevent the
establishment of further barriers, and taking into account the gradual harmonisation of safety rules, the
Commission shall monitor the introduction of new national rules by Member States according to Article 8(5)
of the Railway Safety Directive.
The Commission shall examine the draft safety rules submitted by the Member States and, according to
Article 8(7) of the Railway Safety Directive, “[I]f the Commission has serious doubts as to the compatibility
of the draft safety rule with the CSMs or with achieving at least the CSTs, or considers that it constitutes a
means of arbitrary discrimination or a disguised restriction on rail transport operations between Member
States, the Member State shall suspend the adoption, entry into force or implementation of the rule until a
Decision is adopted, within a period of six months, in accordance with the procedure referred to in Article
27(2)”.
According to Article 8 of the Agency Regulation, the Commission can request the Agency to carry out a
technical examination and submit a technical opinion on any new national safety rule.
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4.
Tasks of the Agency
In the Railway Safety Directive and the Agency Regulation, the Agency has been assigned the following
tasks:
To register the notified national safety rules into a public database in a structured way and to ensure for
this purpose that the information about the notified national safety rules is correct, (Article 11(1) (d) of
the Agency Regulation).
To use the notified national safety rules as input for different Agency’s tasks, such as the elaboration of
CSMs and CSTs, (Articles 6(2) and 7(2) of the Railway Safety Directive).
To provide technical support to the Commission in its task of examining the notifications of existing
rules; the Commission may request the Agency for technical support, (Articles 6 and 30(2) (b) of the
Agency Regulation).
To evaluate, before 30 April 2008, how the Member States have published and made the national safety
rules available to all relevant stakeholders, as well as to make appropriate recommendations to the
Commission for the publication of such rules in order to make the relevant information more easily
accessible, (Article 8(3) of the Railway Safety Directive).
To examine, at the request of the Commission, new national safety rules as part of the policy to minimise
the introduction of new national safety rules to prevent the creation of further barriers or discrimination,
and to move towards the harmonization of safety rules; (Article 8(5) of the Railway Safety Directive and
Article 8 of the Agency Regulation). For this purpose, the Agency shall examine whether new national
safety rules comply with CSMs, if they are consistent with TSIs and if they allow at least the CSTs to be
attained. In case of any incompatibility, the Agency, after taking into account the reasons given by the
Member State, shall within 2 months provide a technical opinion to the Commission.
To provide, at the request of the national regulatory bodies referred to in Article 30 of Directive
2001/14/EC, technical opinions concerning the safety-related aspects of matters drawn to their attention,
including aspects of national safety rules, (Article 10(1) and (3) of the Agency Regulation).
To provide, at the request of the committees provided for in Article 35 of Directive 2001/14/EC and
Article 11(a) of Directive 91/440/EEC, technical opinions concerning safety-related aspects within their
respective areas of competence, including aspects of national safety rules, (Articles 10(2) and (3) of the
Agency Regulation).
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Annex II.
The Agency’s rule declaration form
The team for national safety rules has designed a declaration form to aid the registration of the national
safety rules into the Agency’s Public Database (PDB). This form collects together all the information
required by Article 8(2) of the Railway Safety Directive and for registration in the Agency’s PDB for each
rule. A step by step guide to the use of this form is described in this annex.
1.
Use of the rule declaration form
1.1.
For the notification of the national safety rules
In the Agency’s recommendations to the Commission, it is proposed that the Member States should notify
the national safety rules in a common format. The electronic rule declaration form should be used for this
purpose; a form should be completed for each rule. In this way the notifications will be prepared in a correct
and consistent way and the required information according to Article 8(2) will be included. However, the
texts of the rules should not be included in the notification to the Commission.
Furthermore, the Agency suggests that the Member States include a paper copy of each rule declaration
form, as an annex to the notification of national safety rules that is sent to the Commission.
The Agency has recommended to the Commission that the national safety authorities should send the
electronic version of the notification that has been accepted by the Commission, including together with the
text of the individual national safety rules to the Agency.
1.2.
Sending the declaration forms and the text of the rules to the Agency
The Agency recommended to the Commission to advise the Member States to send an electronic version of
the notification including the text of the individual national safety rules to the Agency. Formally, the
notification of the national safety rules and the text of the rules should be sent to the Agency for registration
in the PDB, when the notification has been accepted by the Commission. However, to reduce the necessity of
documenting the required information on the rules twice, and, possibly in two different formats, a more
pragmatic procedure is proposed.
1.3.
A pragmatic approach using the on-line declaration form
A pragmatic way to reduce the workload of notifying the rules and sending them to the Agency for
registration in the PDB is set out below. The detailed instructions for using the rule declaration form are
given in section 3 in this annex.
1.3.1.
Notification of the national safety rules to the Commission
The Member State prepares the notification using the online declaration form for each rule. Separate rule
declaration forms should be filled in for different types of rules within one legal act. The text of the rules
can be uploaded to the PDB at this stage or subsequently.
Each rule declaration form is submitted electronically to the Agency’s PDB; the rule is stored as
“temporary”. (The Agency will not register the rule in the public database until the notification has been
accepted by the Commission.)
A paper copy of the “information on national safety rule” page is printed to be used as an annex to the
notification.
If required, an electronic version of the page “information on national safety rule” can be exported by the
Member States as a pdf file, (if a pdf application is installed on the local computer).
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1.3.2.
After the notification has been accepted by the Commission
As the rule declaration has already been sent to the Agency’s PDB, it is only now necessary to upload the
text of the rule if this was not done when the declaration form was filled out prior to notification.
Alternatively, electronic versions of all the rules in the notification can be sent to ERA and the texts of the
individual rules will be uploaded.
1.4.
A pragmatic approach using the excel declaration form off-line
A similar procedure can be followed working off-line using the excel file to make the rule declarations. The
detailed instructions for using the excel version of the rule declaration form are given in section 1.3 in this
annex.
1.4.1.
Notification of the national safety rules to the Commission
The Member State prepares the notification using the excel file of the declaration form for each rule.
Separate rule declaration forms should be filled in for different types of rules within one legal act.
The Member State saves each rule declaration form separately on its own computer facility.
A paper copy of the rule declaration page is printed to be used as an annex to the notification.
1.4.2.
After the notification has been accepted by the Commission
The Agency requests the national safety authority to send the excel files of the rule declaration forms and
the texts of the rules in electronic form. The file name of the texts of the rules can be input to the excel
files.
Alternatively, electronic versions of all the rules in the notification can be sent to ERA and the texts of the
individual rules will be uploaded.
2.
How to obtain the rule declaration form
To obtain the rule declaration form, it is necessary to access the PDB. The easiest way to reach the PDB is to
follow this link to the start page: http://pdb.era.europa.eu/. It is also possible to access the PDB via the link to
national safety rules on the Agency’s Extranet (collaboration space).
On the start page of the PDB, you (as the nominated reporting person) should log-in and enter your username
and password that you have been given for access to the collaboration space. If you do not have a username
or password, please send a request to the Agency.
Click on national safety rules.
If you want to work on-line, select the option
select the option
. If you want to work off-line,
to download the declaration form as an Excel file.
We recommend that you use the on-line version of the form, as this will reduce the actions you need to take
for each rule declaration.
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3.
How to fill in the rule declaration form
A description on how to fill in the rule declaration form is provided below. These instructions can be used
for filling in both the on-line declaration form and the downloaded excel file version of the declaration form.
When the instructions are a little different, actions will be described for working both on-line and off-line.
Working on-line - A word of advice!
When you are using the on-line declaration form, it is necessary to input all the mandatory information
(marked with *) before the rule declaration form can be sent (successfully) to the Agency. Please collect
together all the information you will be entering into the form, so that you can fill in the on-line form in one
session without long interruptions.
If you are uploading the text of the rule at this stage, please prepare the document file with the text of the rule
that will be attached to the declaration form beforehand. (The rule can be uploaded at a later time; this is not
mandatory information in the rule declaration form.)
This is an on-line interface, so you will be logged out if there is a time lapse of more than twenty minutes,
since you made the last data entry. Unfortunately, you will lose all the data that you have already entered
when you are logged out. The PDB is an Internet application and it is the usual case that after a certain time
of inactivity, you are disconnected from the application server and any work, which has not been saved, is
lost.
If you do need to interrupt the work, we suggest that you print out the form to retain a copy of the
information that you have already entered. It is not possible to submit an incomplete declaration form to the
PDB, i.e. save it.
Working off-line - A word of advice!
On the first sheet of the excel file version there are supplementary instructions about using the excel file
(safety rules electronic form.xls). If you follow the instructions to save a master file of the declaration form,
you do not need to download it each time you want to make a rule declaration. Please select your country and
follow steps 9 to 17 (section 3.7.2 of this annex) to prepare the master file. The master file will then contain
the information about the reporting organisation and your contact details, so that it is not necessary to repeat
these steps each time you prepare a new declaration.
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3.1.
Selection of country
If you are using the on-line form your country will be pre-selected, so please check that this is correct.
It is important to do this as the first step, because this will control the display of specific information relating
to the selected country that are provided in steps 9 and 10 (section 3.7.1 of this annex) such as contact details
on reporting authority and the reporting person, bodies responsible for publishing rules as far as this has
previously been entered into the databank. The automatic provision of this data speeds up the use of the
declaration form considerably.
If you are using the excel file version, please select your country from the pull-down list. See snapshot 1.
Snapshot 1
3.2.
Areas of application of the Railway Safety Directive
The scope of the Railway Safety Directive as defined in Article 2 is the railway system. The definition of the
railway system is given in Article 3(a): “‘railway system’ means the totality of the subsystems for
structural and operational areas, as defined in Directives 96/48/EC and 2001/16/EC, as well as the
management and operation of the system as a whole”.
However, according to Article 2(2) the Member State may exclude the following areas of application when
they implement the directive:
a) metros, trams and other light rail systems
b) networks that are functionally separate from the rest of the railway system and intended only for the
operation of local, urban or suburban passenger services, as well as railway undertakings operating
solely on these networks
c) privately-owned railway infrastructure that exists solely for use by the infrastructure owner for its
own freight operations.
The approach we have taken to record the scope of the implementation of the Railway Safety Directive is to
ask for a positive confirmation of the area of application, i.e. the parts of the railway that are covered by the
national legislation.
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Please indicate the area(s) of application of the implementation of the Railway Safety Directive as set out in
your national legislation.
Snapshot 2 shows the different alternatives on the form. Please click on the appropriate boxes.
Snapshot 2
For example:
If the Railway Safety Directive is implemented on the railway system as defined in Article 3(a), please click
on the first box. To confirm that the implementation of the Directive includes metros and trams as part of the
railway system (see snapshot 3); please click on the appropriate boxes as well. If you do not click on one or
any of these boxes, this will indicate that these local networks have been excluded from the implementation
of the Railway Safety Directive in your Member State.
Snapshot 3
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3.3.
Area of application of national safety rule
In the following steps, the area of application of the rule itself and the classification of its requirements in
relation to the railway subsystems, referred to in the description of the types of national safety rules in Annex
II of the Railway Safety Directive, should be indicated in the rule declaration form.
Step 1 – Indicate the area of application of the rule
When the rule applies to the same areas of application as the implementation of the Railway Safety Directive
in your country (see snapshot 3), then click on the “entirely” box. See snapshot 4.
Snapshot 4
If the rule is only applicable to specific parts of the railway system, please click on the “partially” box. A
new box will open and you will be asked to specify the restrictions in the application of the rule. See
snapshot 5. Please give details about the parts of the railway to which the rule applies. The area of
application of the rule may be the high speed system, the conventional system, local networks, metros, trams,
light rail systems, historical railway lines, etc., or dedicated lines or networks depending on the type of the
rule.
Snapshot 5
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3.4.
Classification of the type of rule
3.4.1.
Step 1a - Indicate the type of rule
The types of rules are described in Annex II of the Railway Safety Directive. In this step, please select the
appropriate type of rule, see snapshot 6.
Snapshot 6
Selecting type 1 rules
“Rules concerning existing national safety targets and safety methods”
If you select “Rules concerning national safety targets and safety methods”, two boxes will appear: “national
safety targets” and “national safety methods”; indicate the category by clicking the appropriate box. It is
possible to click on both boxes but an “advice message” will appear as shown in snapshot 7.
Snapshot 7
Selecting type 2 rules
“Rules concerning requirements on safety management systems and safety certification of railway
undertakings”
If you choose “rules concerning requirements on safety managements systems and safety certification of
railway undertakings” in the pull-down list, (snapshot 8), two boxes will appear: “safety management
systems” and “safety certificates”. Click on the appropriate box. Again it is possible to click on both of these
boxes and the same “advice message” will appear as for type 1 rules.
Snapshot 8
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Selecting type 3 rules
“Rules concerning requirements for the authorisation of placing in service and maintenance of new
and substantially altered rolling stock that is not yet covered by a TSI. The notification shall include
rules for exchange of rolling stock between railway undertakings, registration systems and
requirements on testing procedures.”
If you select “rules concerning requirements for rolling stock” from the pull-down list, new option boxes will
appear for details of the type of rolling stock and requirements. Select either “new rolling stock” or “altered
rolling stock”, or both if this is the case, then select the appropriate boxes to indicate which type(s) of rolling
stock the requirement applies to. For each type of rolling stock, boxes for the different categories of
requirements “testing procedures”, “authorisation”, “registration systems”, “maintenance” and “rules for
exchange of rolling stock between railway undertakings” appear. Please select the appropriate box(es); you
can select more than one box in each category and the “advice message” will appear. See snapshot 9.
Snapshot 9
Selecting type 4 rules
“Common operating rules of the railway network that are not yet covered by TSIs, including rules
relating to the signalling and traffic management system”
If you select “common operating rules” from the pull-down list, new boxes for type of network (i.e. “high
speed network”, “conventional network” and “other”) will appear. It is possible to select more than one box.
When you click on your selection, boxes for “operating rule”, “signalling rule” and “traffic management
system” rule will appear. It is possible to click more than one box; the “advice message” will be shown. See
snapshot 10.
Snapshot 10
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Selecting type 5 rules
“Rules laying down requirements on additional internal operating rules (company rules) that must
be established by infrastructure managers and railway undertakings”
Select “rules laying down requirements on additional internal operating rules that must be established” from
the pull-down list. Again boxes for “type of network” (i.e. “high speed network”, “conventional network” or
“other”) will appear. When you click on one or more of the “type of network” boxes, new boxes will appear:
“by railway undertakings” and “by infrastructure managers”. It is possible to select more than one box; the
“advice message” will appear. See snapshot 11.
Snapshot 11
Selecting type 6 rules
“Rules concerning requirements on staff executing safety critical tasks, including selection criteria,
medical fitness and vocational training and certification as far as they are not yet covered by a
TSI”
Select “rules concerning requirements for staff executing safety critical tasks” from the pull-down list. Seven
new boxes for the requirements for “drivers”, “shunters”, “train crews”, “staff for the maintenance of rolling
stock”, “staff moving in the track areas”, “RID-experts” and “others” will appear. When you click on one or
more of the “requirement” boxes, new boxes will appear for “selection criteria”, “medical fitness”,
“vocational training” and “certification”. As before, it is possible to make multiple choices and the usual
“advice message” will appear. See snapshot 12.
Snapshot 12
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Selecting type 7 rules
“Rules concerning the investigation of accidents and incidents”
Select “rules concerning the investigation of accidents and incidents” from the pull-down list. No additional
boxes will appear. See snapshot 13.
Snapshot 13
3.4.2.
Step 1b - Selection of rule version
For step 1b, please indicate the rule version.
The options are (see snapshot 14):
“existing rule”
 In the first instance, “existing rule” refers to the rules included in the original notifications
according to Article 8(2), i.e. national safety rules in force prior to 30 April 2005.
 Subsequently, the version “existing rule” refers to a rule that has previously been notified and
registered in the PDB.
“amendment of existing rule”
 The rule version “amendment to existing rule” should be used if a new rule is introduced to amend
or revoke an existing rule.
“new rule”
 ”New rule” refers to a national safety rule that has come into effect after 1 May 2005 and does not
relate to any existing safety rule.
Please click on the appropriate box.
If the option “amendment of existing rule” is selected, please fill in the additional fields that appear to
provide information about the existing rule that is to be amended or repealed. See snapshot 14.
Snapshot 14
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3.5.
Required information about the rules
This section explains how to supply the information on the rules that is required by Article 8(2).
3.5.1.
Step 2 - Description of the principle content of the rule
The next step is to describe the principal content of the rule in the national language (step 2a) and in English
(step 2b). The Member State should give a short description of the principal content of the rule that includes
the purpose of the rule. In some cases, the title itself gives a clear picture of the content of the rule, but for
laws that contain many rules this will not be adequate. See snapshot 15.
In the case of laws and regulations that contain several rules that are individually classified as different types
of rule according to Annex II of the Railway Safety Directive, the description should be sufficiently detailed
to substantiate the classification.
In step 2b, you are requested to give a brief description of the principle content in English. Please note this is
to aid understanding of the content of the rule, it is not necessary to supply a legally verified translation of
the description in the national language.
However, if you do not want to make an entry here, please enter an “X” here as this is a mandatory data box;
it will not be possible to send the rule to ERA, if no text is entered in step 2b.
Snapshot 15
3.5.2.
Step 3 - References to legal texts
National safety rules can be described either directly in the national legislation (e.g. in a law, act, decree or
order) or indirectly by requiring in the legislation that rules published by a third party should be applied.
For both direct and indirect rules, the references to the legal texts and the form of legislation should be
included in the notification. When a law or other form of legislation includes a number of rules, references to
the legal text are essential to identify individual rules. Please avoid using abbreviations if possible.
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Please give clear references to the legal texts including the title of the rule; for indirect rules please also give
details of the appropriate legislation requiring third party rules to be applied. Information may be given in the
national language; however it should be possible to identify the individual rules from the reference details
provided. See snapshot 16.
Snapshot 16
3.5.3.
Step 4 - Indicate the form of legislation
The following forms of legislation are provided:
Royal Act/Law
Parliament Act/Decree/Law
Governmental Act/Decree/Departmental Order
Authority issued rules/regulations
Infrastructure Manager rules/regulations
Railway Undertaking rules/regulations
Industry standard/Norms
Other
Please select the appropriate option using the pull-down list shown in snapshot 17.
Snapshot 17
Note
If there are no references to the legal text and to the form of legislation for the rule in the notification, then
strictly speaking, the rule cannot be considered as a national safety rule in accordance with the definition
given in the Railway Safety Directive.
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3.5.4.
Step 5 - Indicate the language(s) of the rule
It is also necessary to indicate the language(s) in which the rule is published. Twenty-two EU official
languages, Norwegian and Russian are available in the pull-down list in snapshot 18. It is possible to select
up to three languages for each rule.
Snapshot 18
3.5.5.
Step 6 - The body or organisation responsible for the publication of the
rules
The Member State should state which body or organisation is responsible for the publication of the rule. The
responsible body or organisation may be the King/Queen/President, the Parliament, the Ministry of
Transport, the Minister of Transport, the national safety authority, an infrastructure manager, a national,
European or international standardization body, UIC, etc.
Working on-line
Snapshot 19 shows the pull-down list; please select the appropriate publishing body. If the name of the body
is not included in the list, please click on other and enter the name in the second box “name of organisation”.
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Snapshot 19
Working off-line (excel form)
Please enter the name of the publishing body in the box. (See snapshot 20.)
Snapshot 20
Note
If the rule is under copyright or public access to the rule is restricted, the details of the publishing
organisation shall provide information on the source of the rule.
3.6.
Access to the rule
3.6.1.
Step 7a – Provide the identification number (ID)
Step 7a requires the national ID number of the rule to be given; this refers to the number of the rule given in
the numbering system of the national legislation or the publishing body. If there is no ID number for the rule,
this field can be left blank. See snapshot 21.
Snapshot 21
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3.6.2.
Step 7b - Upload the rule
As a general rule, you will only need to upload one file for each rule (in each available language). However,
for indirect rules (section 3.5.2 of this annex), we need both the rule containing the requirement that the rules
of a third party are applicable to the railway undertakings and the rule itself. In these cases, as it is only
possible to upload one file, please put both rules in one file or each rule in separate files and save both files
into a zip file.
We recommend that only pdf files of the rules are uploaded, because these files will be available for
download by the public.
Rules that are under copyright or restricted access, for example standards or UIC leaflets should not be
uploaded. You should have given details about the source of the rule in step 6 – “provide details of the
publishing organisation”.
Note
The text of the rule can be uploaded when the notification of national safety rule(s) is being prepared or at a
later date after the notification has been accepted.
Working on-line
In step 7b you are asked to upload the file containing the actual rule.
This step is linked to the languages you have selected for the rule. If you have selected one language in step
5, one line will appear for this language together with a box “add attachment” to upload the rule in this
language. See snapshot 22.
Snapshot 22
If you have selected two or three languages in step 5, there will be two or three lines respectively, each with
a corresponding “add attachment box”, to serially upload the rule documents in the available languages. See
snapshot 23.
Snapshot 23
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When you click on the “add attachment box”, a browser window will open, so that you can find the
appropriate file on your processor or network. Select the file and the file name will appear; then click on the
“add attachment” box. The document will be attached and its name will appear in the line next to the
language name. See snapshot 24.
Snapshot 24
Note
If you do not upload the rule when you fill-out the rule declaration form, it will still be possible to send the
text of the rule to the Agency at a later date, as this is not a mandatory data box.
3.6.3.
Uploading the rule after the rule declaration form has been sent to the
Agency
To upload the rule at a later date, please access the rule (in the temporary state, i.e. rules that have not yet
been registered by the Agency into the PDB) as follows:
Use the quick search function of the PDB to find all the rules in the temporary state for your country
(only the nominated reporting persons will be able to access these temporary rules in read/write mode to
make any changes).
Select the relevant rule from the search table results by clicking on the description of the type of rule.
Click on the function “modify this rule” button at the bottom of the “information on national safety rule”
page.
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Proceed to upload the rule as described in step 7b above (section 3.6.2 of this annex) when the rule
declaration form appears.
Please remember, we recommend that you upload a pdf file of the rule. Also instructions about uploading
two rules in a zip file are given in the previous section 3.6.2.
Instructions for uploading the rule (after the rule declaration has been sent to the Agency) and other functions
to modify or delete the rule are available using the help function on the PDB or by consulting the Manual for
PDB users on the Agency’s collaboration space (on the welcome page, log in, click on “safety document
database” and then on “manual”). The manual can be downloaded.
Working off-line with the excel version
The procedure is slightly different if you are using the excel file version of the declaration form. See
snapshot 25.
Snapshot 25
Please use the excel commands to insert a hyperlink to the electronic file containing the text of the rule. If
you want to upload more than one file, i.e. one file for each language or two files for the rule (indirect rules),
please put the files in a zip file. Or fill in the name of the file that contains the rule(s) and send the
document(s) in as electronic files to the Agency. The files (we recommend pdf files) should be sent together
with the electronic form to the Agency.
Note
A hyperlink to a webpage of e.g. the national safety authorities as a source of national safety rule is not
acceptable, because subsequent changes to the web site may disrupt the link. Also, even if the national safety
rule is a subsection of a law, the whole text of the legislative document should be sent, because other sections
of the law e.g. definitions may be required to understand the law. However, it is imperative that the
references to the legal text for the rules will enable the reader to identify the relevant section of the law. In
the case of indirect rules, both the law that enables a third party to publish a rule and the national safety rule
itself should be sent.
3.6.4.
Step 8 - Indicate the date of the publication of the rule.
The date of publication may be the date of the publication of laws, decrees etc. in the official parliamentary
journal or the date of issue by the body or bodies responsible for the publication of the national safety rules.
It should be the date that is part of the reference information for the rule.
Please enter the date of publication of the rule (click on the calendar). See snapshot 26.
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Snapshot 26
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3.7.
Reporting the rule: organisation and person responsible
3.7.1.
Working on-line: Steps 9 and 10
As you are registered as the reporting person to declare rules to the PDB, the required information in steps 9
and 10 about the reporting organisation and your contact details should be available by selecting the
appropriate options using the pull-down lists in steps 9 and 10. See snapshot 27.
Snapshot 27
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3.7.2.
Working off-line using the Excel version of the declaration form:
Steps 9 to 17
Again, the procedure is a little different if you are working off-line and using the excel file version of the
declaration form.
The first time you download the excel file, and before you start to work on a rule declaration, please fill in all
the necessary information about your organisation and your contact details. If you now save this file as the
master file, and use it each time you make a rule declaration, this information will be preserved, so that you
will not have to repeat steps 9 to 17. It is possible to change this information, if necessary. See snapshot 28.
Snapshot 28
3.8.
Step 18 - Indicate the date of rule declaration
For the last step, you are asked to fill in the date of the rule declaration; this is step 11 on the on-line form
(snapshot 29) and step 18 on the excel form (snapshot 30).
Snapshot 29
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Snapshot 30
3.9.
Final action - send the rule declaration to the Agency
3.9.1.
Working on-line
If you are using the on-line version and you have completed all the relevant mandatory fields, please click on
the option “send to ERA”. If some information is missing from the declaration form, there will be a list of
reminders at the top of the form printed in red. See snapshot 31.
Snapshot 31
Please complete the data entries as indicated and repeat the action “send to ERA”.
You can print the form before you send it to the Agency, or afterwards by selecting the option “view created
safety rule” and then select the option print (at the top and bottom of the page).
There are further tasks that you can do to modify and delete rules that are in the “temporary” state, i.e. rules
that have not yet been registered by the Agency into the PDB. Please use the help function on the PDB or
consult the Manual for PDB users on the Agency’s collaboration space (on the welcome page, log in, click
on “safety document database” and then on “manual”). The manual can be downloaded.
ERA/NSR Version 2.2
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.9.2.
Working off-line using the Excel version of the declaration form
If you are using the excel version and have input all relevant information, please select the option “save and
export to file”. A file name will automatically be given to the file. See snapshot 32.
Snapshot 32
When you click on the "save and export" button, you will also be asked if you want to print the form. Further
instructions for saving and printing the file using the excel commands are given in the explanatory note on
sheet 1 of the excel file.
Please only send the files that have been “generated” by the main excel file (safety rules electronic form.xls)
to the Agency using this email address: [email protected].
These files have been saved each time you clicked on the "save and export to file" button; they are saved to
the same location as the main file.
Note
When you click on “save and export to file” a new file of the rule declaration data is created; the main file is
returned to the original state to be used for the next, new declaration to be made.
ERA/NSR Version 2.2
Page 48/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
Annex III. Reference list for rules
The Agency has prepared a reference list of rules for each type of rule listed in Annex II of the Railway
Safety Directive to illustrate as far as possible all requirements, which may be national safety rules in the
different Member States.
The reference list can be used as an aid in classification of national safety rules to be registered in the public
database, and to evaluate, whether national safety rules for the relevant requirements have to be included in
the notifications by the Member States. The reference list may also be useful for the national safety
authorities to monitor the system of national safety rules in their Member States.
The list includes references to the TSIs in force (or that will come into force in the near future) in order to
give information on those rules which could be excluded from the notification as explained in section 3.2 of
the guideline. The rules reference list can be used as an aid to check whether a requirement covered by a TSI
should be included in the notification or not.
The structure of this list should not be seen as the structure of requirements in national legislation. In practice
a number of requirements may belong to one or several types of rules and they are often joined in one
binding document.
In the rules reference list the following abbreviations are used for the titles of the TSIs:
TSI HS CCS
TSI relating to the control-command and signaling subsystem of the trans-European
high-speed rail system
TSI HS RST
TSI relating to the rolling stock subsystem of the trans-European high-speed rail system
TSI HS ENE
TSI relating to the energy subsystem of the trans-European high-speed rail system
TSI SRT
TSI relating to “safety in railway tunnels” in the trans-European conventional and highspeed rail system
TSI PRM
TSI relating to “persons with reduced mobility” in the trans-European conventional and
high-speed rail system
TSI CR CCS
TSI relating to the control-command and signaling subsystem of the trans-European
conventional rail system
TSI CR NOI
TSI relating to the subsystem “rolling stock – noise” of the trans-European conventional
rail system
TSI CR WAG
TSI relating to the subsystem “rolling stock – freight wagons” of the trans-European
conventional rail system
TSI HS OPE
TSI relating to the operation subsystem of the trans-European high-speed rail system
TSI CR OPE
TSI relating to the subsystem “traffic operation and management” of the trans-European
conventional rail system
Table of titles of the TSIs and their abbreviations
In the rules reference list the abbreviations RUs and IMs are used for railway undertakings and infrastructure
managers respectively.
ERA/NSR Version 2.2
Page 49/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
1.
Type 1: Rules concerning existing national safety targets and
safety methods
List
Safety
targets
Safety
methods
Requirements
applicable to
RUs and IMs
General targets defining the safety levels for the
railway system as a whole and, if any, for
different parts of the railway system, expressed in
risk acceptance criteria for:
Individual risks relating to passengers
√
Individual risks relating to staff including staff of
contractors
Individual risks relating to level crossings users
and others
Individual risks relating to unauthorised persons
on railway premises
√
Societal risks
√
√
√
The safety methods shall describe how the safety
level and the achievement of safety targets and
compliance with other safety requirements are
assessed:
Defining risk evaluation and assessment methods
Defining methods for assessing conformity with
requirements in safety certificates issued in
accordance with Article 10 in Directive
2004/49/EC
Defining methods for assessing conformity with
requirements in safety authorisations issued in
accordance with Article 11 in Directive
2004/49/EC
Defining, as far as they are not yet covered by
TSIs, methods to check that the structural
subsystems of the trans-European high-speed rail
system are operated and maintained in accordance
with the relevant essential requirements
Defining, as far as they are not yet covered by
TSIs, methods to check that the structural
subsystems of the trans-European conventional
rail system are operated and maintained in
accordance with the relevant essential
requirements
ERA/NSR Version 2.2
Requirements
applicable to
RUs
√
√
√
√
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
2.
Type 2: Rules concerning requirements on safety management
systems and safety certification of railway undertakings
List
Requirements
applicable to
RUs
Safety
Requirements laid down in Directive
management 2004/49/EC, Article 9 and Annex III
system
Safety
certificate
ERA/NSR Version 2.2
Requirements
applicable to
RUs and IMs
√
Requirements laid down in Directive
2004/49/EC, Articles 10 and 12 and Annex IV
√
Requirements laid down in Commission
regulation (EC) No 653/2007
√
Page 51/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.
Type 3: Rules concerning requirements for the authorisation
of placing in service and maintenance of new and
substantially altered rolling stock that is not yet covered by a
TSI. The notification shall include rules for exchange of
rolling stock between railway undertakings, registration
systems and requirements on testing procedures
3.1.
High speed trainset
3.1.1.
New rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers and
passengers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
On board detection equipment for axle
bearings
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Eddy current brakes
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Pantographs equipped with an automatic
dropping device (ADD)
Couplers and arrangements to rescue
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI HS CCS
TSI HS CCS
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI HS ENE
TSI HS RST
Page 52/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
List
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Passenger information signs
Passenger alarm
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
External lights and horn
Interior noise in the drivers cabin
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI SRT
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI SRT
TSI HS RST + TSI SRT
TSI HS RST + TSI SRT
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI SRT
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
√
√
√
√
TSI PRM
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.1.2.
Altered rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers and
passengers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
On board detection equipment for axle
bearings
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Eddy current brakes
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Pantographs equipped with an automatic
dropping device (ADD)
Couplers and arrangements to rescue
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Passenger information signs
Passenger alarm
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI HS CCS
TSI HS CCS
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI HS ENE
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI SRT
TSI HS RST
TSI HS RST
Page 54/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
List
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
External lights and horn
Interior noise in the drivers cabin
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST + TSI SRT
TSI HS RST + TSI SRT
TSI HS RST + TSI SRT
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
TSI HS RST
√
√
√
√
TSI PRM
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.2.
Conventional trainset
3.2.1.
New rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers and
passengers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
On board detection equipment for axle
bearings
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Couplers and arrangements to rescue
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Passenger information signs
Passenger alarm
Crosswind
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR CCS
TSI CR CCS
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√ + TSI SRT
√
√
√
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Guideline for Member States on
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ERA-20070731-SAF
List
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
External lights and horn
Interior noise in the drivers cabin
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on noise levels
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√ + TSI SRT
√ + TSI SRT
√ + TSI SRT
√
√
√
√
√
√ + TSI SRT
√
√
√
√
√
√
√
√
TSI CR NOI
TSI PRM
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.2.2.
Altered rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers and
passengers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
On board detection equipment for axle
bearings
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Couplers and arrangements to rescue
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Passenger information signs
Passenger alarm
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR CCS
TSI CR CCS
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√ + TSI SRT
√
√
√
√
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
List
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
External lights and horn
Interior noise in the drivers cabin
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on noise levels
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√ + TSI SRT
√ + TSI SRT
√ + TSI SRT
√
√
√
√
√
√
√
√
√
√
√
√
√
√
TSI CR NOI
TSI PRM
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.3.
Conventional locomotives
3.3.1.
New rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Strength of vehicle structure
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR CCS
TSI CR CCS
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
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ERA-20070731-SAF
List
External lights and horn
Interior noise in the drivers cabin
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on noise levels
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
√
√
√
√
TSI CR NOI
√
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ERA-20070731-SAF
3.3.2.
Altered rolling stock
List
On board control command and
signalling system
On board radio system
Access and egress for drivers
Forward and side vision from the drivers
cab
The quality of the windscreen
Kinematic gauge
Pantograph gauge
Static axle load
Electrical resistance on wheel sets
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Flange lubrication
Sanding
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Functional and technical requirements
related to power supply
Adjustment of pantograph contact force
Height of pantograph
Pantograph head geometry
Strength of vehicle structure
Braking performance
Brake system requirements
Emergency brake
Possibility for the driver to override the
emergency brake
On board communication system
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and
driver
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
External lights and horn
Interior noise in the drivers cabin
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR CCS
TSI CR CCS
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
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Guideline for Member States on
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ERA-20070731-SAF
List
Drivers vigilance device
Emergency lighting system
Traction performance requirements
Insulation of pantograph from the vehicle
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Instruction manual
Requirements on noise levels
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
√
√
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
TSI CR NOI
√
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Guideline for Member States on
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ERA-20070731-SAF
3.4.
Conventional freight wagons
3.4.1.
New rolling stock
List
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Draw gear characteristics
Interaction of draw and buffing gear
Safe access and egress for staff
Strength of vehicle structure
Requirements on the interaction between
wagon and load
Door closing and locking
Vehicle marking
Requirements for loading dangerous
goods
Maintenance rules
Kinematic gauge
Static axle load and linear load
Wheel sets electrical resistance
Hot axle box detection
Vehicle dynamic behaviour
Lateral track force
Vertical track force
Suspension
Braking performance
Brake system requirements
Parking brake
Requirements on wagons equipped with
Radio Frequency Identification Device
(RFID-Tag)
Requirements for altitude
Requirements for temperature
Requirements for humidity level
Aerodynamic effects
Cross wind
Resistance to pollution
Fire safety
Electrical resistance wheel/rail
Protection against electric shock (freight
wagons fitted with electric equipment
Tail lamps brackets
Requirements on hydraulic and
pneumatic equipment
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
Open point
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
Open point
Open point
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
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List
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Requirements on noise levels
Requirements for the authorisation of
placing in service
3.4.2.
Requirements applicable to
RUs
√
√
√
Requirements applicable to
RUs and IMs
TSI CR NOI
√
Altered rolling stock
List
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Draw gear characteristics
Interaction of draw and buffing gear
Safe access and egress for staff
Strength of vehicle structure
Requirements on the interaction between
wagon and load
Door closing and locking
Vehicle marking
Requirements for loading dangerous
goods
Maintenance rules
Kinematic gauge
Static axle load and linear load
Wheel sets electrical resistance
Hot axle box detection
Vehicle dynamic behaviour
Lateral track force
Vertical track force
Suspension
Braking performance
Brake system requirements
Parking brake
Requirements on wagons equipped with
Radio Frequency Identification Device
(RFID-Tag)
Requirements for altitude
Requirements for temperature
Requirements for humidity level
Aerodynamic effects
Cross wind
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
Open point
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
Open point
Open point
Page 65/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
List
Resistance to pollution
Fire safety
Electrical resistance wheel/rail
Protection against electric shock (freight
wagons fitted with electric equipment
Tail lamps brackets
Requirements on hydraulic and
pneumatic equipment
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Requirements on noise levels
Requirements for the authorisation of
placing in service
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
TSI CR WAG
√
√
√
TSI CR NOI
√
Page 66/79
Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
3.5.
Conventional passenger wagons
3.5.1.
New rolling stock
List
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Draw gear characteristics
Interaction of draw and buffing gear
Access and egress for drivers and
passengers
Kinematic gauge
Static axle load
Electrical resistance on wheel sets
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Couplers and arrangements to rescue
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
On board communication system
Passenger information signs
Passenger alarm
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
Emergency exits for passengers and train
staff
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
Emergency lighting system
Maintenance rules
Requirements on buffer impact power
resistance
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
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Guideline for Member States on
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ERA-20070731-SAF
List
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Requirements on noise levels
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
3.5.2.
Requirements applicable to
RUs
√
√
√
Requirements applicable to
RUs and IMs
TSI CR NOI
TSI PRM
√
Altered rolling stock
List
Requirements on buffer impact power
resistance
Requirements on measures and placement
of the buffers on the rolling stock
Draw gear characteristics
Interaction of draw and buffing gear
Access and egress for drivers and
passengers
Kinematic gauge
Static axle load
Electrical resistance on wheel sets
Minimum curve radius
Maximum gradient
Wheel/rail interface
Design for vehicle stability
Aerodynamic load
Electromagnetic interference
Traction wheel/rail adhesion
requirements
Couplers and arrangements to rescue
trains
Strength of vehicle structure
Door operation
Braking performance
Brake system requirements
Emergency brake
On board communication system
Passenger information signs
Passenger alarm
Crosswind
Maximum pressure variations in tunnels
Requirements on external noise
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
List
Emergency exits for passengers and train
staff
Fire safety
Fire detection
Fire extinguisher
Protection against electric shock
Emergency lighting system
Maintenance rules
Requirements on buffer impact power
resistance
Requirements on testing procedures
Rules for exchange of rolling stock
Rules on registration systems
Requirements on noise levels
Requirements on accessibility for people
with reduced mobility
Requirements for the authorisation of
placing in service
3.6.
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
√
√
TSI CR NOI
TSI PRM
√
Other
ERA/NSR Version 2.2
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
4.
Type 4: Common operating rules of the railway network that
are not yet covered by TSIs, including rules relating to the
signalling and traffic management system
4.1.
High speed network
List
Signals and signs
Written orders
Ensuring the functionality of all on-train
safety related equipment
Checks and tests before departure
Safety related communication between
train staff and staff authorising train
movements
Train visibility
Train audibility
Vehicle identification
Train length
Train weight
Axle load
Compliance with the allocated path
Ensuring that all vehicles are within
their maintenance interval for the entire
journey
Maximum speed
Kinematic envelope
Brake performance
Train identification
General requirements on traffic
management
Rules for train reporting
Supervision of dangerous goods
Monitoring of operational quality
Recording of supervision data on-board
the train
Recording of supervision data outside
the train (incl. the interlocking system)
Degraded operation
Managing an emergency situation
Assistance to train crew in degraded
operation
Evacuation of a failed train
Rules concerning level crossings
Rules for RID
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
TSI HS OPE + √
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
TSI HS OPE
√
√
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
4.2.
Conventional network
List
Signals and signs
Written orders
Ensuring the functionality of all on-train
safety related equipment
Checks and tests before departure
Safety related communication between
train staff and staff authorising train
movements
Train visibility
Train audibility
Vehicle identification
Train length
Train weight
Axle load
Compliance with the allocated path
Ensuring that all vehicles are within
their maintenance interval for the entire
journey
Maximum speed
Kinematic envelope
Brake performance
Train identification
General requirements on traffic
management
Rules for train reporting
Supervision of dangerous goods
Monitoring of operational quality
Recording of supervision data on-board
the train
Recording of supervision data outside
the train (incl. the interlocking system)
Degraded operation
Managing an emergency situation
Assistance to train crew in degraded
operation
Evacuation of a failed train
Rules concerning level crossings
Rules for RID
4.3.
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
TSI CR OPE + √
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
TSI CR OPE
√
√
Other
ERA/NSR Version 2.2
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Guideline for Member States on
the Notification of National Safety Rules
ERA-20070731-SAF
5.
Type 5: Rules laying down requirements on additional
internal operating rules (company rules) that must be
established by infrastructure managers and railway
undertakings
5.1.
High speed network
List
Specific tunnel operating rules
Rules concerning sanding
Rules concerning snow
Rules concerning crosswind
Knowledge of a specific rolling stock
Knowledge of the signalling system on a
specific line/signal box
Internal IM-rules for emergency
situations
Rules regarding the number of staff
accompanying a train
Rules pointing out the staff responsible
for approving the train composition
Internal RU-rules for emergency
situations
5.2.
Requirements applicable to
RUs and IMs
√ + TSI SRT
√
√
√
√
√
√
√
√
√
Conventional network
List
Specific tunnel operating rules
Rules concerning sanding
Rules concerning snow
Rules concerning crosswind
Knowledge of a specific rolling stock
Knowledge of the signalling system on a
specific line/signal box
Internal IM-rules for emergency
situations
Rules regarding the number of staff
accompanying a train
Rules pointing out the staff responsible
for approving the train composition
Internal RU-rules for emergency
situations
5.3.
Requirements applicable to
RUs
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√ + TSI SRT
√
√
√
√
√
√
√
√
√
Other
ERA/NSR Version 2.2
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Guideline for Member States on
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ERA-20070731-SAF
6.
Type 6: Rules concerning requirements on staff executing
safety critical tasks, including selection criteria, medical
fitness and vocational training and certification as far as they
are not yet covered by a TSI
6.1.
Drivers
6.1.1.
Selection criteria
List
Level of education
Maximum age
Anthropometrics
General medical examination
Examination of sensory functions
(vision, hearing, colour perception)
Urine or blood analysis for the detection
of diabetes mellitus and other conditions
Screening for drugs of abuse
Cognitive: attention and concentration,
memory, perceptive capability,
reasoning, communication
Psychomotor: speed of reaction, gesture
co-ordination
Behavioural and personality: emotional
self-control, behavioural reliability,
autonomy, conscientiousness
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
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Guideline for Member States on
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ERA-20070731-SAF
6.1.2.
Medical fitness
List
Requirements applicable to
RUs
General medical examination
Examination of sensory functions
(vision, hearing, colour perception)
Urine or blood analysis for the detection
of diabetes mellitus and other conditions
Screening for drugs of abuse
Cognitive: attention and concentration,
memory, perceptive capability,
reasoning, communication
Psychomotor: speed of reaction, gesture
co-ordination
Behavioural and personality: emotional
self-control, behavioural reliability,
autonomy, conscientiousness
Trauma counselling
Periodicity of periodic medical
examinations
6.1.3.
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
Vocational training
List
General professional knowledge
Knowledge of rolling stock
Infrastructure knowledge
Ability to put the knowledge into
practise
Language
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
6.1.4.
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
√
Certification
List
Licence
Training for "instructor-drivers"
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
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Guideline for Member States on
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ERA-20070731-SAF
6.2.
Staff accompanying trains
6.2.1.
Selection criteria
List
Evaluation of individual experience and
competence
Level of education
Minimum age
Maximum age
Minimum height
6.2.2.
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
√
√
√
√
Medical fitness
List
General medical examination
Examination of sensory functions
(vision, hearing, colour perception)
Urine or blood analysis for the detection
of diabetes mellitus and other conditions
Screening for drugs of abuse
Cognitive: attention and concentration,
memory, perceptive capability,
reasoning, communication
Psychomotor: speed of reaction, gesture
co-ordination
Behavioural and personality: emotional
self-control, behavioural reliability,
autonomy, conscientiousness
Periodicity of periodic medical
examinations
6.2.3.
Requirements applicable to
RUs
Requirements applicable to
RUs
TSI HS + CR OPE
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
Vocational training
List
General professional knowledge
Knowledge of operational procedures
and safety systems applied to the
infrastructure to be used
Knowledge of rolling stock
Knowledge of the route
Ability to put the knowledge into
practise
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
ERA/NSR Version 2.2
Requirements applicable to
RUs
TSI HS + CR OPE
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
√
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Guideline for Member States on
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6.2.4.
Certification
List
Licence
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
6.3.
Staff preparing trains
6.3.1.
Selection criteria
List
Requirements applicable to
RUs
√
√
Requirements applicable to
RUs
Evaluation of individual experience and
competence
Minimum age
6.3.2.
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
√
Vocational training
List
Requirements applicable to
RUs
General professional knowledge
Knowledge of operational procedures
and safety systems applied to the
infrastructure to be used
Knowledge of train equipment
Ability to put the knowledge into
practise
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
6.3.3.
Requirements applicable to
RUs and IMs
Requirements applicable to
RUs and IMs
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
TSI HS + CR OPE
√
Certification
List
Licence
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
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Guideline for Member States on
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ERA-20070731-SAF
6.4.
Shunters
6.4.1.
Selection criteria
List
Requirements applicable to
RUs
Evaluation of individual experience and
competence
Minimum age
6.4.2.
√
√
Vocational training
List
Requirements applicable to
RUs
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
6.4.3.
Requirements applicable to
RUs and IMs
√
Certification
List
Requirements applicable to
RUs
Licence
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
Advisors for dangerous goods RID
6.5.1.
Selection criteria
List
Requirements applicable to
RUs and IMs
√
√
6.5.
Requirements applicable to
RUs
Evaluation of individual experience and
competence
6.5.2.
Requirements applicable to
RUs and IMs
Requirements applicable to
RUs and IMs
√
Vocational training
List
General preventive and safety measures
Provisions relating to the mode of
transport used under national law,
Community standards, international
conventions and agreements
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
Directive 96/35/EC
Directive 96/35/EC
√
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Guideline for Member States on
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ERA-20070731-SAF
6.5.3.
Certification
List
Requirements applicable to
RUs
Certificate
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
6.6.
Maintenance staff
6.6.1.
Selection criteria
List
√
Requirements applicable to
RUs
Evaluation of individual experience and
competence
6.6.2.
Requirements applicable to
RUs and IMs
√
Vocational training
List
Requirements applicable to
RUs
General professional knowledge
Eventual requirements on training as
described in Article 13 of the Directive
2004/49/EC
6.6.3.
Requirements applicable to
RUs and IMs
Directive 96/35/EC
Requirements applicable to
RUs and IMs
√
√
Certification
List
Licence
Eventual requirements on certification as
described in Article 13 of the Directive
2004/49/EC
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
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Guideline for Member States on
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ERA-20070731-SAF
6.7.
Staff moving in track areas
6.7.1.
Selection criteria
List
Requirements applicable to
RUs
Evaluation of individual experience and
competence
6.7.2.
Requirements applicable to
RUs and IMs
√
Vocational training
List
Requirements applicable to
RUs
Basic railway knowledge
Requirements applicable to
RUs and IMs
√
6.8.
Other
7.
Type 7: Rules concerning the investigation of accidents and
incidents
List
Requirements laid down in Directive
2004/49/EC:
Article 19, Obligation to investigate
Article 20, Status of investigation
Article 21, Investigating body
Article 22, Investigation procedure
Article 23, Reports
Article 24, Information to be sent to the
Agency
Article 25, Safety recommendations
Procedures in line with article 5, annex I
and annex III (point 2h) to ensure that
accidents, incidents, near misses and
other dangerous occurrences are
reported, investigated and analysed and
that necessary preventive measures are
taken
Annex V
Requirements on accident investigation
in RID
ERA/NSR Version 2.2
Requirements applicable to
RUs
Requirements applicable to
RUs and IMs
√
√
√
√
√
√
√
√
√
√
√
Page 79/79